SEC Form 4 · accession 0001127602-17-011474
CALERES INC · CAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard M Ausick
Officer — Division President, Retail
Period of report
Mar 9, 2017
Accepted (ET)
Mar 13, 2017 · 6:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000014707
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 9, 2017 | M | 10,192 | $0.00 | A | 104,026 | D | |
| Common Stock | Mar 9, 2017 | F | 3,538 | $30.11 | D | 100,488 | D | |
| Common Stock | Mar 9, 2017 | D | 6,654 | $30.11 | D | 93,834 | D | |
| Common Stock | holding | — | — | — | 83,528 | I | Held by the Ausick Revocable Living Trust 2000 | |
| Common Stock | holding | — | — | — | 8,226 | I | Shares held indirectly by 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Cash-settled performance share unitsF3,F2 | — | Mar 9, 2017 | A | 10,192 | A | Mar 9, 2017 | Mar 9, 2017 | Common Stock | 10,192 | 10,192 | D |
| Cash-settled performance share unitsF1,F2 | — | Mar 9, 2017 | M | 10,192 | D | Mar 9, 2017 | Mar 9, 2017 | Common Stock | 10,192 | 0 | D |
Explanation of responses
- F1The cash-settled performance share units were deemed to have settled for an equivalent number of shares of Caleres, Inc. Common Stock.
- F21 - for - 1
- F3Represents issuance of units pursuant to performance award covering fiscal years 2014, 2015, and 2016, as approved for payment by the Compensation Committee on March 9, 2017.